Bill Text: NY A06769 | 2019-2020 | General Assembly | Introduced


Bill Title: Enacts the consulting act to regulate the activities of persons and organizations retained, employed or designated to influence the passage or defeat of state legislation, rules or regulations, or rate making proceedings or influence the passage or defeat of local laws, ordinances or regulations.

Spectrum: Partisan Bill (Democrat 3-0)

Status: (Introduced) 2019-03-19 - referred to governmental operations [A06769 Detail]

Download: New_York-2019-A06769-Introduced.html


                STATE OF NEW YORK
        ________________________________________________________________________
                                          6769
                               2019-2020 Regular Sessions
                   IN ASSEMBLY
                                     March 19, 2019
                                       ___________
        Introduced  by M. of A. GALEF, WOERNER -- Multi-Sponsored by -- M. of A.
          THIELE -- read once and referred  to  the  Committee  on  Governmental
          Operations
        AN  ACT  to  amend  the  legislative  law,  in  relation to creating the
          consulting act
          The People of the State of New York, represented in Senate and  Assem-
        bly, do enact as follows:
     1    Section  1. The legislative law is amended by adding a new article 1-B
     2  to read as follows:
     3                                 ARTICLE 1-B
     4                               CONSULTING ACT
     5  Section 1-aa. Short title.
     6          1-bb. Definitions.
     7          1-cc. Powers of the commission.
     8          1-dd. Statement of registration.
     9          1-ee. Monthly registration docket.
    10          1-ff. Termination of retainer, employment or designation.
    11          1-gg. Bi-monthly reports.
    12          1-hh. Contingent retainer.
    13          1-ii. Reports involving disbursement of public monies.
    14          1-jj. Prohibition of gifts.
    15          1-kk. Penalties.
    16          1-ll. Enforcement.
    17          1-mm. Record of appearances.
    18          1-nn. Publication of statement on  consultant  disclosure  regu-
    19                 lations.
    20          1-oo. Public access to records.
    21          1-pp. Applicability of certain laws.
    22          1-qq. Separability clause.
    23    §  1-aa.  Short title. This article shall be known and may be cited as
    24  the "consulting act".
         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD10600-01-9

        A. 6769                             2
     1    § 1-bb. Definitions. As used in this article unless the context other-
     2  wise requires:
     3    (a)  The  term  "client"  shall  mean every person or organization who
     4  retains, employs or designates any person or organization  to  carry  on
     5  consulting activities on behalf of such client.
     6    (b) The term "organization" shall mean any corporation, company, foun-
     7  dation,  association, college as defined by section two of the education
     8  law, labor organization, firm, partnership, society, joint stock  compa-
     9  ny, state agency or public corporation.
    10    (c)  The term "state agency" shall mean any department, board, bureau,
    11  commission, division, office,  council,  committee  or  officer  of  the
    12  state,  whether  permanent or temporary, or a public benefit corporation
    13  or public authority at least one of whose members is  appointed  by  the
    14  governor,  authorized by law to make rules or to make final decisions in
    15  adjudicatory proceedings but shall not include the  judicial  branch  or
    16  agencies created by interstate compact or international agreement.
    17    (d)  The  term  "commission" shall mean the joint commission on public
    18  ethics created by section ninety-four of the executive law.
    19    (e) The term "expense"  or  "expenses"  shall  mean  any  expenditures
    20  incurred by or reimbursed to the consultant for consulting but shall not
    21  include  contributions  reportable  pursuant  to article fourteen of the
    22  election law.
    23    (f) The term "compensation" shall mean any salary, fee, gift, payment,
    24  benefit, loan, advance or any other thing of value paid, owed, given  or
    25  promised  to  the  consultant by the client for consulting but shall not
    26  include contributions reportable pursuant to  article  fourteen  of  the
    27  election law.
    28    (g)  The term "public corporation" shall mean a municipal corporation,
    29  a district corporation, or a public benefit corporation  as  defined  in
    30  section sixty-six of the general construction law.
    31    (h)  The  term  "gift"  shall mean anything of more than nominal value
    32  given to a public official in any form including,  but  not  limited  to
    33  money,  service,  loan,  travel,  lodging,  meals,  refreshments, enter-
    34  tainment, discount, forbearance, or promise, having  a  monetary  value.
    35  The following are excluded from the definition of a gift:
    36    (i)  complimentary  attendance,  including  food and beverage, at bona
    37  fide charitable or political events;
    38    (ii) complimentary attendance, food and beverage offered by the  spon-
    39  sor  of  a widely attended event. The term "widely attended event" shall
    40  mean an event: (A) which at least  twenty-five  individuals  other  than
    41  members,  officers,  or  employees from the governmental entity in which
    42  the public official serves attend or were, in  good  faith,  invited  to
    43  attend,  and  (B) which is related to the attendee's duties or responsi-
    44  bilities or which allows the public official  to  perform  a  ceremonial
    45  function  appropriate  to  his or her position. For the purposes of this
    46  exclusion, a public official's duties or responsibilities shall  include
    47  but  not  be  limited  to  either (1) attending an event or a meeting at
    48  which a speaker or attendee addresses an issue  of  public  interest  or
    49  concern  as  a significant activity at such event or meeting; or (2) for
    50  elected public officials, or their staff attending with or on behalf  of
    51  such  elected  officials,  attending an event or a meeting at which more
    52  than one-half of the attendees, or persons  invited  in  good  faith  to
    53  attend, are residents of the county, district or jurisdiction from which
    54  the elected public official was elected;
    55    (iii)  awards,  plaques, and other ceremonial items which are publicly
    56  presented, or intended to  be  publicly  presented,  in  recognition  of

        A. 6769                             3
     1  public  service, provided that the item or items are of the type custom-
     2  arily bestowed at such or similar ceremonies and are  otherwise  reason-
     3  able under the circumstances, and further provided that the functionali-
     4  ty  of  such  items shall not determine whether such items are permitted
     5  under this paragraph;
     6    (iv) an honorary degree bestowed upon a public official by a public or
     7  private college or university;
     8    (v) promotional items having no substantial resale value such as pens,
     9  mugs, calendars, hats, and t-shirts which bear an  organization's  name,
    10  logo, or message in a manner which promotes the organization's cause;
    11    (vi)  goods and services, or discounts for goods and services, offered
    12  to the general public or a segment of the general public  defined  on  a
    13  basis  other  than  status  as a public official and offered on the same
    14  terms and conditions as the goods or services are offered to the general
    15  public or segment thereof;
    16    (vii) gifts from a family member, member of  the  same  household,  or
    17  person  with a personal relationship with the public official, including
    18  invitations to attend personal or family social events, when the circum-
    19  stances  establish  that  it  is  the  family,  household,  or  personal
    20  relationship that is the primary motivating factor; in determining moti-
    21  vation,  the following factors shall be among those considered:  (A) the
    22  history and nature of the relationship between the donor and the recipi-
    23  ent, including whether or not items have previously been exchanged;  (B)
    24  whether  the item was purchased by the donor; and (C) whether or not the
    25  donor at the same time gave similar items to other public officials; the
    26  transfer shall not be considered to be motivated by a family, household,
    27  or personal relationship if the donor seeks  to  charge  or  deduct  the
    28  value  of  such item as a business expense or seeks reimbursement from a
    29  client;
    30    (viii) contributions reportable under article fourteen of the election
    31  law, including contributions made in violation of that  article  of  the
    32  election law;
    33    (ix)  travel  reimbursement  or  payment for transportation, meals and
    34  accommodations for an attendee, panelist or speaker at an  informational
    35  event  or  informational  meeting  when such reimbursement or payment is
    36  made by a governmental entity or by an  in-state  accredited  public  or
    37  private  institution  of  higher  education  that hosts the event on its
    38  campus, provided, however, that the  public  official  may  only  accept
    39  lodging from an institution of higher education: (A) at a location on or
    40  within close proximity to the host campus; and (B) for the night preced-
    41  ing and the nights of the days on which the attendee, panelist or speak-
    42  er actually attends the event or meeting;
    43    (x)  provision  of local transportation to inspect or tour facilities,
    44  operations or property located in New  York  state,  provided,  however,
    45  that  such  inspection  or  tour is related to the individual's official
    46  duties  or  responsibilities  and  that  payment  or  reimbursement  for
    47  expenses  for  lodging or travel expenses to and from the locality where
    48  such facilities, operations or property are located shall be  considered
    49  to be gifts unless otherwise permitted under this subdivision;
    50    (xi)  meals  or  refreshments  when participating in a professional or
    51  educational program and the meals or refreshments are  provided  to  all
    52  participants; and
    53    (xii) food or beverage valued at fifteen dollars or less.
    54    (i)  The term "municipality" shall mean any jurisdictional subdivision
    55  of the state, including but not  limited  to  counties,  cities,  towns,
    56  villages, improvement districts and special districts, with a population

        A. 6769                             4
     1  of  more  than  five  thousand,  and  industrial development agencies in
     2  jurisdictional subdivisions with a population of more  than  five  thou-
     3  sand; and public authorities, and public corporations.
     4    (j) The term "public official" shall mean:
     5    (i)  the governor, lieutenant governor, comptroller or attorney gener-
     6  al;
     7    (ii) members of the state legislature;
     8    (iii) state officers and employees including:
     9    (A) heads of state departments and their deputies and assistants other
    10  than members of the board of regents of the university of the  state  of
    11  New  York  who  receive no compensation or are compensated on a per diem
    12  basis,
    13    (B) officers and employees of statewide elected officials,
    14    (C) officers and employees  of  state  departments,  boards,  bureaus,
    15  divisions, commissions, councils or other state agencies,
    16    (D) members or directors of public authorities, other than multi-state
    17  authorities, public benefit corporations and commissions at least one of
    18  whose  members  is  appointed  by  the  governor,  and employees of such
    19  authorities, corporations and commissions;
    20    (iv) officers and employees of the legislature; and
    21    (v) municipal officers and employees including an officer or  employee
    22  of  a  municipality,  whether  paid  or unpaid, including members of any
    23  administrative board, commission or other agency thereof and in the case
    24  of a county, shall be deemed to also include  any  officer  or  employee
    25  paid  from  county  funds.  No  person shall be deemed to be a municipal
    26  officer or employee solely by reason of being a volunteer firefighter or
    27  civil defense volunteer, except a fire chief or assistant fire chief.
    28    (k) The term  "restricted  period"  shall  mean  the  period  of  time
    29  commencing  with the earliest written notice, advertisement or solicita-
    30  tion of a request for proposal, invitation for bids, or solicitation  of
    31  proposals,  or  any other method for soliciting a response from offerers
    32  intending to result in a  procurement  contract  with  a  state  agency,
    33  either  house  of  the state legislature, the unified court system, or a
    34  municipal agency, as that term is defined by paragraph (ii) of  subdivi-
    35  sion  (q)  of this section, and ending with the final contract award and
    36  approval by the state agency, either house of the state legislature, the
    37  unified court system, or a municipal agency, as that term is defined  by
    38  paragraph  (ii)  of subdivision (q) of this section, and, where applica-
    39  ble, the state comptroller.
    40    (l) The term "revenue  contract"  shall  mean  any  written  agreement
    41  between  a  state or municipal agency or a local legislative body and an
    42  offerer whereby the state or municipal agency or local legislative  body
    43  gives or grants a concession or a franchise.
    44    (m) The term "article of procurement" shall mean a commodity, service,
    45  technology,  public  work, construction, revenue contract, the purchase,
    46  sale or lease of real property or an acquisition or  granting  of  other
    47  interest  in  real  property,  that  is  the  subject  of a governmental
    48  procurement.
    49    (n) The term "governmental procurement" shall  mean:  (i)  the  public
    50  announcement,  public  notice,  or public communication to any potential
    51  vendor of a  determination  of  need  for  a  procurement,  which  shall
    52  include,  but not be limited to, the public notification of the specifi-
    53  cations, bid documents, request for proposals,  or  evaluation  criteria
    54  for   a  procurement  contract,  (ii)  solicitation  for  a  procurement
    55  contract, (iii)  evaluation  of  a  procurement  contract,  (iv)  award,
    56  approval,  denial  or  disapproval  of  a  procurement  contract, or (v)

        A. 6769                             5
     1  approval or denial of an assignment, amendment  (other  than  amendments
     2  that  are  authorized  and  payable  under  the terms of the procurement
     3  contract as it was finally awarded or approved by  the  comptroller,  as
     4  applicable),  renewal  or  extension  of  a procurement contract, or any
     5  other material change in the procurement contract resulting in a  finan-
     6  cial benefit to the offerer.
     7    (o)  The  term  "offerer"  shall mean the individual or entity, or any
     8  employee, agent  or  consultant  of  such  individual  or  entity,  that
     9  contacts  a  state  agency,  either  house of the state legislature, the
    10  unified court system, a municipal agency or local legislative body about
    11  a governmental procurement provided, however, that a governmental agency
    12  or its employees that communicate with the procuring agency regarding  a
    13  governmental  procurement  in the exercise of its oversight duties shall
    14  not be considered an offerer.
    15    (p) The term "procurement contract" shall mean any contract  or  other
    16  agreement,  including  an amendment, extension, renewal, or change order
    17  to an existing contract (other than amendments, extensions, renewals, or
    18  change orders that are authorized and payable under  the  terms  of  the
    19  contract  as  it  was finally awarded or approved by the comptroller, as
    20  applicable), for an article of procurement involving an estimated  annu-
    21  alized  expenditure in excess of fifteen thousand dollars. Grants, arti-
    22  cle XI-B state finance law contracts, program contracts between not-for-
    23  profit organizations, as defined in article XI-B of  the  state  finance
    24  law,  and  the unified court system, intergovernmental agreements, rail-
    25  road and utility force accounts, utility relocation  project  agreements
    26  or orders, contracts governing organ transplants, contracts allowing for
    27  state  participation  in  trade  shows,  and eminent domain transactions
    28  shall not be deemed procurement contracts.
    29    (q) The term "municipal agency" shall mean: (i) any department, board,
    30  bureau, commission, division, office, council, committee or officer of a
    31  municipality, whether permanent or  temporary;  or  (ii)  an  industrial
    32  development agency, located in a jurisdictional subdivision of the state
    33  with  a  population of more than fifty thousand, or local public benefit
    34  corporation, as that term is defined in section sixty-six of the general
    35  construction law.
    36    (r) The term "local legislative body" shall mean the board of supervi-
    37  sors, board of  aldermen,  common  council,  council,  commission,  town
    38  board,  board of trustees or other elective governing board or body of a
    39  municipality now or hereafter vested by state statute, charter or  other
    40  law  with  jurisdiction to initiate and adopt local laws, ordinances and
    41  budgets, whether or not such local laws, ordinances or  budgets  require
    42  approval  of  the  elective chief executive officer or other official or
    43  body to become effective.
    44    (s) The term "commission salesperson" shall mean any person the prima-
    45  ry purpose of whose employment is to cause or promote the sale of, or to
    46  influence or induce another to make a purchase of an article of procure-
    47  ment, whether such person is an employee (as that term  is  defined  for
    48  tax  purposes)  of  or  an independent contractor for a vendor, provided
    49  that an independent contractor shall have a written contract for a  term
    50  of  not less than six months or for an indefinite term, and which person
    51  shall be compensated, in whole or in part, by the payment of a  percent-
    52  age  amount  of all or a substantial part of the sales which such person
    53  has caused, promoted, influenced or induced, provided, however, that  no
    54  person  shall be considered a commission salesperson with respect to any
    55  sale to or purchase by a state agency, either house of the state  legis-
    56  lature,  the  unified court system, a municipal agency or local legisla-

        A. 6769                             6
     1  tive body if the  percentage  amount  of  any  commission  payable  with
     2  respect  to  such  sale  or  purchase  is substantially in excess of any
     3  commission payable with respect to any comparable sale  to  a  purchaser
     4  that  is  not a state agency, either house of the state legislature, the
     5  unified court system, a municipal  agency  or  local  legislative  body;
     6  provided  further,  however,  that any person that is required to file a
     7  statement or report pursuant to this article by virtue  of  engaging  in
     8  consulting  activities shall not be deemed to be a "commission salesper-
     9  son" for purposes of this article.
    10    (t) The term "unified court system" shall, for the  purposes  of  this
    11  article only, mean the unified court system of the state of New York, or
    12  the  office  of court administration, where appropriate, other than town
    13  and village justice courts in  jurisdictions  with  a  population  under
    14  fifty  thousand,  when  it  acts solely in an administrative capacity to
    15  engage in governmental procurements and shall not  include  the  unified
    16  court  system  or  any court of the state judiciary when it acts to hear
    17  and decide cases of original or appellate jurisdiction or otherwise acts
    18  in its judicial, as opposed to administrative, capacity.
    19    (u) The term "reportable business relationship" shall mean a relation-
    20  ship in which compensation is paid by a consultant or by a client  of  a
    21  consultant,  in  exchange  for any goods, services or anything of value,
    22  the total value of which is in excess of one thousand dollars  annually,
    23  to  be  performed or provided by or intended to be performed or provided
    24  by (i) any statewide elected official, state  officer,  state  employee,
    25  member of the legislature or legislative employee, or (ii) any entity in
    26  which  the  consultant or the client of a consultant knows or has reason
    27  to know the statewide elected official, state officer,  state  employee,
    28  member of the legislature or legislative employee is a proprietor, part-
    29  ner,  director,  officer  or manager, or owns or controls ten percent or
    30  more of the stock of such entity (or one percent in the case of a corpo-
    31  ration whose stock is regularly  traded  on  an  established  securities
    32  exchange).
    33    (v)  The  term  "business dealings" shall mean (i) any contract, other
    34  than an emergency contract or a contract procured  through  publicly-ad-
    35  vertised  competitive  sealed  bidding,  which is for the procurement of
    36  goods, services or construction that is entered into or in  effect  with
    37  the  public corporation at or above five hundred thousand dollars, or an
    38  emergency contract, and shall include any contract for the  underwriting
    39  of  the  debt  of  the  public corporation and the retention of any bond
    40  counsel, disclosure counsel or underwriter's counsel in connection ther-
    41  ewith; (ii) any acquisition or disposition of real property, other  than
    42  a  public  auction or competitive sealed bid transaction or the acquisi-
    43  tion of property pursuant to the department of environmental  protection
    44  watershed  land  acquisition program, with the public corporation; (iii)
    45  any concession, other than a concession awarded through  publicly-adver-
    46  tised competitive sealed bid, or any franchise from a public corporation
    47  which has an estimated annual value at or above the dollar value defined
    48  in  paragraph  (ii)  of  subdivision  (w)  of  this section; or (iv) any
    49  contract for the investment of pension funds, including investments in a
    50  private equity firm and contracts with investment  related  consultants.
    51  For purposes of this article, all contracts, concessions, franchises and
    52  grants that are five thousand dollars or less in value shall be excluded
    53  from  any calculation as to whether a contract, concession, franchise or
    54  grant is a business dealing with the public corporation.
    55    (w) The term "contract" shall mean and include any agreement between a
    56  public corporation or elected official and a contractor, or  any  agree-

        A. 6769                             7
     1  ment between such a contractor and a subcontractor, which (i) is for the
     2  provision  of  goods, services or construction and has a value that when
     3  aggregated with the values of all other such agreements  with  the  same
     4  contractor or subcontractor and any franchises or concessions awarded to
     5  such  contractor  or  subcontractor  during  the  immediately  preceding
     6  twelve-month period is valued at one hundred thousand dollars  or  more;
     7  (ii) is for the provision of goods, services or construction, is awarded
     8  to a sole source and is valued at ten thousand dollars or more; (iii) is
     9  a  concession and has a value that when aggregated with the value of all
    10  other contracts held by the same concessionaire is valued at one hundred
    11  thousand dollars or more; or (iv) is a franchise.
    12    § 1-cc. Powers of the commission. In addition to any other powers  and
    13  duties provided by section ninety-four of the executive law, the commis-
    14  sion  shall, with respect to its consultant-related functions only, have
    15  the power and duty to:
    16    (a) administer and enforce all the provisions of this article;
    17    (b) conduct a program of random audits subject to the terms and condi-
    18  tions of this section. Any such program shall  be  carried  out  in  the
    19  following manner:
    20    (i)  The commission may randomly select reports or registration state-
    21  ments required to be filed by consultants or clients  pursuant  to  this
    22  article for audit. Any such selection shall be done in a manner pursuant
    23  to  which  the  identity  of  any  particular consultant or client whose
    24  statement or report is selected for audit is unknown to the  commission,
    25  its staff or any of their agents prior to selection.
    26    (ii)  The  commission  shall develop protocols for the conduct of such
    27  random audits. Such random audits may require the production  of  books,
    28  papers, records or memoranda relevant and material to the preparation of
    29  the  selected  statements or reports, for examination by the commission.
    30  Any such protocols shall ensure that similarly  situated  statements  or
    31  reports are audited in a uniform manner.
    32    (iii) The commission shall contract with an outside accounting entity,
    33  which shall monitor the process pursuant to which the commission selects
    34  statements  or reports for audit and carries out the provisions of para-
    35  graphs (i) and (ii) of this subdivision and certifies that such  process
    36  complies with the provisions of such paragraphs.
    37    (iv)  Upon  completion  of a random audit conducted in accordance with
    38  the provisions of paragraphs (i), (ii) and (iii)  of  this  subdivision,
    39  the  commission  shall  determine  whether  there is reasonable cause to
    40  believe that any such statement or report is inaccurate  or  incomplete.
    41  Upon  a  determination that such reasonable cause exists, the commission
    42  may require the production  of  further  books,  records  or  memoranda,
    43  subpoena witnesses, compel their attendance and testimony and administer
    44  oaths  or  affirmations,  to  the  extent the commission determines such
    45  actions are necessary to obtain information  relevant  and  material  to
    46  investigating such inaccuracies or omissions;
    47    (c)  conduct hearings pursuant to article seven of the public officers
    48  law. Any hearing may be conducted as a video  conference  in  accordance
    49  with  the  provisions of subdivision four of section one hundred four of
    50  the public officers law;
    51    (d) prepare uniform forms for the statements and reports  required  by
    52  this article;
    53    (e)  meet at least once during each bi-monthly reporting period of the
    54  year as established by subdivision (a) of section one-gg of this article
    55  and may meet at such other times as the commission,  or  the  chair  and
    56  vice-chair jointly, shall determine;

        A. 6769                             8
     1    (f)  issue  advisory  opinions  to those under its jurisdiction.  Such
     2  advisory opinions, which shall be published and made  available  to  the
     3  public, shall not be binding upon such commission except with respect to
     4  the  person  to whom such opinion is rendered, provided, however, that a
     5  subsequent  modification  by such commission of such an advisory opinion
     6  shall operate prospectively only; and
     7    (g) submit by the first day of March next following the year for which
     8  such report is made to the governor and the members of  the  legislature
     9  an annual report summarizing the commission's work, listing the consult-
    10  ant's  and clients required to register pursuant to this article and the
    11  expenses and compensation reported pursuant to this article  and  making
    12  recommendations  with respect to this article. The commission shall make
    13  this report available free of charge to the public.
    14    (h) provide an online ethics training course  for  individuals  regis-
    15  tered  as  consultants  pursuant  to section one-dd of this article. The
    16  curriculum for the course shall include, but not be limited to, explana-
    17  tions and discussions of  the  statutes  and  regulations  of  New  York
    18  concerning  ethics  in  the  public  officers law, the election law, the
    19  legislative law, summaries of advisory opinions, underlying purposes and
    20  principles of the relevant laws, and examples of  practical  application
    21  of  these laws and principles.  The commission shall prepare those meth-
    22  ods and materials necessary to implement the curriculum. Each individual
    23  registered as a consultant pursuant to section one-dd  of  this  article
    24  shall  complete  such  training  course  at least once in any three-year
    25  period during which he or she is registered as a consultant.
    26    § 1-dd. Statement of registration.  (a)  (i)  Every  consultant  shall
    27  annually  file with the commission, on forms provided by the commission,
    28  a statement of registration for each calendar year;  provided,  however,
    29  that  the filing of such statement of registration shall not be required
    30  of any consultant who (A) in any year does not expend, incur or  receive
    31  an amount in excess of two thousand dollars for years prior to two thou-
    32  sand six and in excess of five thousand dollars in the year two thousand
    33  six and the years thereafter of reportable compensation and expenses, as
    34  provided  in  paragraph (v) of subdivision (b) of section one-gg of this
    35  article, for the purposes of consulting or (B) is an officer,  director,
    36  trustee or employee of any public corporation, when acting in such offi-
    37  cial  capacity;  provided however, that nothing in this section shall be
    38  construed to relieve any public corporation of the  obligation  to  file
    39  such  statements  and  reports  as required by this article. The amounts
    40  expended, incurred, or received of reportable compensation and  expenses
    41  for  consulting  activities  shall  be  computed  cumulatively  for  all
    42  consulting activities when determining whether the thresholds set  forth
    43  in this section have been met.
    44    (ii)  (A)  Through calendar year two thousand twenty-four, such filing
    45  shall be completed on or before January first by those persons who  have
    46  been  retained, employed or designated as consultant on or before Decem-
    47  ber fifteenth who reasonably anticipate that in  the  coming  year  they
    48  will  expend,  incur  or  receive  combined  reportable compensation and
    49  expenses in an amount in excess  of  two  thousand  dollars;  for  those
    50  consultants  retained,  employed or designated after December fifteenth,
    51  and for those consultants who subsequent to their  retainer,  employment
    52  or  designation  reasonably  anticipate combined reportable compensation
    53  and expenses in excess of such amount, such  filing  must  be  completed
    54  within  fifteen  days  thereafter,  but  in no event later than ten days
    55  after the actual incurring or receiving of such reportable  compensation
    56  and expenses.

        A. 6769                             9
     1    (B)  For calendar year two thousand twenty-five, such filings shall be
     2  completed on or before January first by  those  persons  who  have  been
     3  retained,  employed  or  designated  as consultant on or before December
     4  fifteenth, two thousand twenty-four who reasonably  anticipate  that  in
     5  the  coming  year they will expend, incur or receive combined reportable
     6  compensation and expenses  in  an  amount  in  excess  of  two  thousand
     7  dollars;  for  those  consultants retained, employed or designated after
     8  December fifteenth, two thousand twenty-four, and for those  consultants
     9  who  subsequent  to their retainer, employment or designation reasonably
    10  anticipate combined reportable compensation and expenses  in  excess  of
    11  such amount, such filing must be completed within fifteen days thereaft-
    12  er,  but  in  no event later than ten days after the actual incurring or
    13  receiving of such reportable compensation and expenses.
    14    (iii) Commencing calendar year two thousand twenty-six and  thereafter
    15  every  consultant  shall  biennially  file with the commission, on forms
    16  provided by the commission, a statement of registration for each bienni-
    17  al period beginning with the first year of the biennial cycle commencing
    18  calendar year two thousand twenty-six and thereafter; provided, however,
    19  that the biennial filing of such statement of registration shall not  be
    20  required  of  any  consultant who (A) in any year prior to calendar year
    21  two thousand twenty-seven does not expend, incur or receive an amount in
    22  excess of two thousand dollars of reportable compensation and  expenses,
    23  as  provided  in  paragraph  (v) of subdivision (b) of section one-gg of
    24  this article, for the purposes of consulting and commencing with  calen-
    25  dar year two thousand twenty does not expend, incur or receive an amount
    26  in  excess  of  five  thousand  dollars  of  reportable compensation, as
    27  provided in paragraph (v) of subdivision (b) of section one-gg  of  this
    28  article  for  the purposes of consulting or (B) is an officer, director,
    29  trustee or employee of any public corporation, when acting in such offi-
    30  cial capacity; provided however, that nothing in this section  shall  be
    31  construed  to  relieve  any public corporation of the obligation to file
    32  such statements and reports as required by this article.
    33    (iv) Such biennial filings shall be completed  on  or  before  January
    34  first  of the first year of a biennial cycle commencing in calendar year
    35  two thousand twenty-six and thereafter, by those persons who  have  been
    36  retained,  employed  or  designated  as consultant on or before December
    37  fifteenth of the previous calendar year and  who  reasonably  anticipate
    38  that  in  the  coming  year  they will expend, incur or receive combined
    39  reportable compensation and expenses in an amount in excess of two thou-
    40  sand dollars in years prior to calendar year two  thousand  twenty-seven
    41  and  five  thousand dollars commencing in two thousand twenty-seven; for
    42  those consultants retained, employed or designated  after  the  previous
    43  December  fifteenth,  and  for those consultants who subsequent to their
    44  retainer,  employment  or  designation  reasonably  anticipate  combined
    45  reportable  compensation  and  expenses  in  excess of such amount, such
    46  filing must be completed within fifteen days thereafter, but in no event
    47  later than ten days after the actual  incurring  or  receiving  of  such
    48  reportable compensation and expenses.
    49    (b)  (i)  Such  statements of registration shall be kept on file for a
    50  period of three years for those filing periods where  annual  statements
    51  are required, and shall be open to public inspection during such period;
    52    (ii)  Biennial  statements of registration shall be kept on file for a
    53  period of three biennial filing periods where  biennial  statements  are
    54  required, and shall be open to public inspection during such period.
    55    (c) Such statement of registration shall contain:

        A. 6769                            10
     1    (i)  the  name, address and telephone number of the consultant, and if
     2  the consultant is an organization the  names,  addresses  and  telephone
     3  numbers of any officer or employee of such consultant who engages in any
     4  consulting  activities  or who is employed in an organization's division
     5  that engages in consulting activities of the organization;
     6    (ii)  the  name, address and telephone number of the client by whom or
     7  on whose behalf the consultant is retained, employed or designated;
     8    (iii) if such consultant is retained or employed pursuant to a written
     9  agreement of retainer or employment,  a  copy  of  such  shall  also  be
    10  attached  and if such retainer or employment is oral, a statement of the
    11  substance thereof; such written retainer, or if it is oral, a  statement
    12  of  the  substance thereof, and any amendment thereto, shall be retained
    13  for a period of three years;
    14    (iv) a written authorization from the client by whom the consultant is
    15  authorized to consult, unless such consultant has filed a written agree-
    16  ment of retainer or employment  pursuant  to  paragraph  three  of  this
    17  subdivision;
    18    (v)  the  following  information  on  which  the consultant expects to
    19  consult: (A) a description of the general subject or subjects,  (B)  the
    20  legislative bill numbers of any bills, (C) the numbers or subject matter
    21  (if there are no numbers) of gubernatorial executive orders or executive
    22  orders  issued by the chief executive officer of a municipality, (D) the
    23  subject matter of and tribes involved in tribal-state compacts, memoran-
    24  da of understanding, or any other state-tribal agreements and any  state
    25  actions related to class III gaming as provided in 25 U.S.C. § 2701, (E)
    26  the  rule, regulation, and ratemaking numbers of any rules, regulations,
    27  rates, or municipal ordinances and resolutions, or proposed rules, regu-
    28  lations, or rates, or municipal ordinances and resolutions, and (F)  the
    29  titles  and  any  identifying  numbers  of any procurement contracts and
    30  other documents disseminated by a state  agency,  either  house  of  the
    31  state  legislature,  the unified court system, municipal agency or local
    32  legislative body in connection with a governmental procurement;
    33    (vi) the name of the person, organization, or legislative body  before
    34  which the consultant is consulting or expects to consult;
    35    (vii)  if  the  consultant is retained, employed or designated by more
    36  than one client, a separate statement of registration shall be  required
    37  for each such client;
    38    (viii) (A) the name and public office address of any statewide elected
    39  official, state officer or employee, member of the legislature or legis-
    40  lative  employee  and  entity  with whom the consultant has a reportable
    41  business relationship;
    42    (B) a description of the general subject or  subjects  of  the  trans-
    43  actions  between the consultant or consultants and the statewide elected
    44  official, state officer or employee, member of the legislature or legis-
    45  lative employee and entity; and
    46    (C) the compensation, including expenses,  to  be  paid  and  paid  by
    47  virtue of the business relationship.
    48    (d)  Any  amendment  to the information filed by the consultant in the
    49  original statement of registration shall be submitted to the  commission
    50  on  forms  supplied  by the commission within ten days after such amend-
    51  ment, however, this shall not require the consultant to amend the entire
    52  registration form.
    53    (e) (i) The first statement of registration  filed  annually  by  each
    54  consultant  for calendar years through two thousand twenty-four shall be
    55  accompanied by a registration fee of fifty dollars except that no regis-
    56  tration fee shall be required of a public corporation. A  fee  of  fifty

        A. 6769                            11
     1  dollars  shall  be required for any subsequent statement of registration
     2  filed by a consultant during the same  calendar  year;  (ii)  The  first
     3  statement of registration filed annually by each consultant for calendar
     4  year  two  thousand  twenty-three shall be accompanied by a registration
     5  fee of one hundred dollars except that  no  registration  fee  shall  be
     6  required  from  any consultant who in any year does not expend, incur or
     7  receive an amount in excess  of  five  thousand  dollars  of  reportable
     8  compensation  and  expenses, as provided in paragraph (v) of subdivision
     9  (b) of section one-gg of this article, for the purposes of consulting or
    10  of a public corporation. A fee of one hundred dollars shall be  required
    11  for  any  subsequent  statement  of  registration  filed by a consultant
    12  during the same calendar year; (iii) The first statement of registration
    13  filed biennially by each consultant for the first biennial  registration
    14  requirements for calendar years two thousand twenty-six and two thousand
    15  twenty-seven  and thereafter, shall be accompanied by a registration fee
    16  of two hundred dollars except that no registration fee shall be required
    17  from any consultant who in any year does not expend, incur or receive an
    18  amount in excess of five thousand dollars of reportable compensation and
    19  expenses, as provided in paragraph (v) of  subdivision  (b)  of  section
    20  one-gg  of  this  article, for the purposes of consulting or of a public
    21  corporation. A fee of two hundred dollars  shall  be  required  for  any
    22  subsequent  statement  of  registration filed by a consultant during the
    23  same biennial period; (iv) The statement of registration filed after the
    24  due date of a biennial registration shall be accompanied by a  registra-
    25  tion  fee  that  is prorated to one hundred dollars for any registration
    26  filed after January first of the second calendar  year  covered  by  the
    27  biennial  reporting  requirement.  In addition to the fees authorized by
    28  this section, the commission may impose a  fee  for  late  filing  of  a
    29  registration  statement  required  by this section not to exceed twenty-
    30  five dollars for each day that the statement required  to  be  filed  is
    31  late,  except that if the consultant making a late filing has not previ-
    32  ously been required by statute to file such a  statement,  the  fee  for
    33  late filing shall not exceed ten dollars for each day that the statement
    34  required to be filed is late.
    35    §  1-ee.  Monthly  registration  docket.  It  shall be the duty of the
    36  commission to compile a monthly docket  of  statements  of  registration
    37  containing  all  information required by section one-dd of this article.
    38  Each such monthly docket shall contain all  statements  of  registration
    39  filed  during  such  month and all amendments to previously filed state-
    40  ments of registration.   Copies  shall  be  made  available  for  public
    41  inspection.
    42    §  1-ff.  Termination of retainer, employment or designation. Upon the
    43  termination of a consultant's retainer, employment or designation,  such
    44  consultant and the client on whose behalf such service has been rendered
    45  shall  both  give  written  notice  to the commission within thirty days
    46  after the consultant ceases the activity that required  such  consultant
    47  to  file  a  statement  of  registration; however, such consultant shall
    48  nevertheless comply with the bi-monthly reporting requirements up to the
    49  date such activity has ceased as required by this article.  The  commis-
    50  sion  shall  enter notice of such termination in the appropriate monthly
    51  registration docket required by section one-ee of this article.
    52    § 1-gg. Bi-monthly reports. (a) Any  consultant  required  to  file  a
    53  statement of registration pursuant to section one-dd of this article who
    54  in  any consultant year reasonably anticipates that during the year such
    55  consultant will expend, incur or  receive  combined  reportable  compen-
    56  sation  and expenses in an amount in excess of five thousand dollars, as

        A. 6769                            12
     1  provided in paragraph (v) of subdivision (b) of this  section,  for  the
     2  purpose of consulting, shall file with the commission a bi-monthly writ-
     3  ten  report,  on  forms supplied by the commission, by the fifteenth day
     4  next  succeeding the end of the reporting period in which the consultant
     5  was first required to file a statement of registration.  Such  reporting
     6  periods  shall  be the period of January first to the last day of Febru-
     7  ary, March first to April thirtieth, May first to June  thirtieth,  July
     8  first  to  August  thirty-first, September first to October thirty-first
     9  and November first to December thirty-first.
    10    (b) Such bi-monthly report shall contain:
    11    (i) the name, address and telephone number of the consultant;
    12    (ii) the name, address and telephone number of the client by  whom  or
    13  on whose behalf the consultant is retained, employed or designated;
    14    (iii) the following information on which the consultant has consulted:
    15  (A)  a  description of the general subject or subjects, (B) the legisla-
    16  tive bill numbers of any bills, (C) the numbers or  subject  matter  (if
    17  there  are  no  numbers)  of gubernatorial executive orders or executive
    18  orders issued by the chief executive officer of a municipality, (D)  the
    19  subject matter of and tribes involved in tribal-state compacts, memoran-
    20  da  of understanding, or any other state-tribal agreements and any state
    21  actions related to class III gaming as provided in 25 U.S.C. § 2701, (E)
    22  the rule, regulation, and ratemaking or municipal  ordinance  or  resol-
    23  ution  numbers  of  any  rules,  regulations,  or  rates or ordinance or
    24  proposed rules, regulations, or rates or municipal ordinances or  resol-
    25  utions,  and  (F) the titles and any identifying numbers of any procure-
    26  ment contracts and other  documents  disseminated  by  a  state  agency,
    27  either house of the state legislature, the unified court system, munici-
    28  pal  agency  or local legislative body in connection with a governmental
    29  procurement;
    30    (iv) the name of the person, organization, or legislative body  before
    31  which the consultant has consulted;
    32    (v)  (A)  the  compensation  paid  or  owed to the consultant, and any
    33  expenses expended, received  or  incurred  by  the  consultant  for  the
    34  purpose of consulting.
    35    (B)  expenses  required to be reported pursuant to subparagraph (A) of
    36  this paragraph shall be listed in the aggregate if seventy-five  dollars
    37  or  less  and  if  more than seventy-five dollars such expenses shall be
    38  detailed as to amount, to whom paid, and for  what  purpose;  and  where
    39  such  expense  is  more  than  seventy-five dollars on behalf of any one
    40  person, the name of such person shall be listed.
    41    (C) for the purposes of this paragraph, expenses shall not include:
    42    (1) personal sustenance, lodging  and  travel  disbursements  of  such
    43  consultant;
    44    (2)  expenses, not in excess of five hundred dollars in any one calen-
    45  dar year, directly incurred for the printing or other means  of  reprod-
    46  uction or mailing of letters, memoranda or other written communications.
    47    (D)  expenses  paid  or  incurred  for salaries other than that of the
    48  consultant shall be listed in the aggregate.
    49    (E) expenses of more than fifty dollars shall  be  paid  by  check  or
    50  substantiated  by receipts and such checks and receipts shall be kept on
    51  file by the consultant for a period of three years.
    52    (c) (i) All such bi-monthly reports shall be subject to review by  the
    53  commission.
    54    (ii) Such bi-monthly reports shall be kept on file for three years and
    55  shall be open to public inspection during such time.

        A. 6769                            13
     1    (iii)  In  addition to the filing fees authorized by this article, the
     2  commission may impose a fee for  late  filing  of  a  bi-monthly  report
     3  required  by this section not to exceed twenty-five dollars for each day
     4  that the report required to  be  filed  is  late,  except  that  if  the
     5  consultant  making  a  late  filing  has not previously been required by
     6  statute to file such a report, the fee for late filing shall not  exceed
     7  ten dollars for each day that the report required to be filed is late.
     8    (iv)  Any  consultant  registered  pursuant  to section one-dd of this
     9  article whose consulting activity is performed on its own behalf and not
    10  pursuant to retention by a client:
    11    (A) that has spent over fifty thousand dollars for reportable  compen-
    12  sation  and  expenses for consulting either during the calendar year, or
    13  during the twelve-month period, prior to the  date  of  this  bi-monthly
    14  report, and
    15    (B) at least three percent of whose total expenditures during the same
    16  period  were  devoted  to  consulting  in  New  York shall report to the
    17  commission the names of  each  source  of  funding  over  five  thousand
    18  dollars  from  a  single  source  that  were used to fund the consulting
    19  activities reported and the amounts received from each identified source
    20  of funding.
    21    This disclosure shall not require disclosure of the sources of funding
    22  whose disclosure, in the determination of the commission  based  upon  a
    23  review  of the relevant facts presented by the reporting consultant, may
    24  cause harm, threats, harassment, or reprisals to the source or to  indi-
    25  viduals or property affiliated with the source. The reporting consultant
    26  may appeal the commission's determination and such appeal shall be heard
    27  by a judicial hearing officer who is independent and not affiliated with
    28  or  employed  by  the commission, pursuant to regulations promulgated by
    29  the commission. The  reporting  consultant  shall  not  be  required  to
    30  disclose  the  sources  of  funding  that are the subject of such appeal
    31  pending final judgment on appeal.
    32    The disclosure shall not apply to:
    33    (i) any corporation registered pursuant  to  article  seven-A  of  the
    34  executive  law that is qualified as an exempt organization by the United
    35  States Department of the Treasury under I.R.C. § 501(c)(3);
    36    (ii) any corporation registered pursuant to  article  seven-A  of  the
    37  executive  law that is qualified as an exempt organization by the United
    38  States Department of the Treasury under I.R.C.  §  501(c)(4)  and  whose
    39  primary  activities concern any area of public concern determined by the
    40  commission to create a substantial likelihood that application  of  this
    41  disclosure  requirement  would  lead  to  harm,  threats, harassment, or
    42  reprisals to a source of funding or to individuals  or  property  affil-
    43  iated  with  such source, including but not limited to the area of civil
    44  rights and civil liberties and any other area of public  concern  deter-
    45  mined  pursuant  to  regulations promulgated by the commission to form a
    46  proper basis for exemption on this basis from this  disclosure  require-
    47  ment; or
    48    (iii) any governmental entity.
    49    The  joint commission on public ethics shall promulgate regulations to
    50  implement these requirements.
    51    § 1-hh. Contingent retainer. (a) No client shall retain or employ  any
    52  consultant for compensation, the rate or amount of which compensation in
    53  whole or part is contingent or dependent upon:
    54    (i)  (A) the passage or defeat of any legislative bill or the approval
    55  or veto of any legislation by the governor,  (B)  the  terms,  issuance,
    56  modification  or  rescission of a gubernatorial executive order, (C) the

        A. 6769                            14
     1  terms, approval or disapproval, or the implementation and administration
     2  of tribal-state compacts,  memoranda  of  understanding,  or  any  other
     3  tribal-state  agreements  and  any  state  actions  related to class III
     4  gaming as provided in 25 U.S.C. § 2701, or (D) the adoption or rejection
     5  of  any  code,  rule or regulation having the force and effect of law or
     6  the outcome of any rate making proceeding by a state agency;
     7    (ii)(A) the passage or defeat of any local law, ordinance,  regulation
     8  or resolution by any municipality or subdivision thereof, (B) the terms,
     9  issuance, modification or rescission of an executive order issued by the
    10  chief  executive  officer  of  a  municipality,  or  (C)  the  adoption,
    11  rejection or implementation of any rule, resolution or regulation having
    12  the force and effect of a local law, ordinance or regulation or any rate
    13  making proceeding by any municipality or subdivision thereof;
    14    (iii) any determination by a state agency, either house of  the  state
    15  legislature,  the unified court system, municipal agency or local legis-
    16  lative body with respect to a governmental procurement or a grant,  loan
    17  or agreement involving the disbursement of public monies.
    18    (b)  No person shall accept such a retainer or employment. A violation
    19  of this section shall be a class A misdemeanor.
    20    § 1-ii. Reports involving  disbursement  of  public  monies.  (a)  Any
    21  consultant  required  to  file  a  statement of registration pursuant to
    22  section one-dd of this article who in  any  consulting  year  reasonably
    23  anticipates  that  during  the  year  they will expend, incur or receive
    24  combined reportable compensation and expenses in an amount in excess  of
    25  five  thousand dollars shall file with the commission, on forms supplied
    26  by the commission, a report of any attempts to influence a determination
    27  by a public official, or by a person or entity  working  in  cooperation
    28  with  a  public  official,  with  respect  to the solicitation, award or
    29  administration of a grant, loan, or agreement involving the disbursement
    30  of public monies in excess of fifteen  thousand  dollars  other  than  a
    31  governmental procurement as defined in section one-bb of this article.
    32    (b) Such public monies consulting reports shall contain:
    33    (i)  the  name, address and telephone number of the consultant and the
    34  individuals employed by the consultant engaged  in  such  public  monies
    35  consulting activities;
    36    (ii)  the  name, address and telephone number of the client by whom or
    37  on whose behalf the consultant is retained, employed  or  designated  on
    38  whose  behalf  the consultant has engaged in consulting reportable under
    39  this paragraph;
    40    (iii) a description of the grant, loan,  or  agreement  involving  the
    41  disbursement of public monies on which the consultant has consulted;
    42    (iv)  the name of the person, organization, or legislative body before
    43  which the consultant has engaged in  consulting  reportable  under  this
    44  paragraph; and
    45    (v)  the compensation paid or owed to the consultant, and any expenses
    46  expended, received or incurred by the  consultant  for  the  purpose  of
    47  consulting reportable under this paragraph.
    48    (c) Public monies consulting reports required pursuant to this section
    49  shall  be filed in accordance with the schedule applicable to the filing
    50  of bi-monthly reports pursuant to section one-gg  of  this  article  and
    51  shall  be filed not later than the fifteenth day next succeeding the end
    52  of such reporting period.
    53    (d) In addition to any other fees  authorized  by  this  section,  the
    54  commission may impose a fee for late filing of a report required by this
    55  subdivision  not  to  exceed  twenty-five  dollars for each day that the
    56  report required to be filed is  late,  except  that  if  the  consultant

        A. 6769                            15
     1  making a late filing has not previously been required by statute to file
     2  such  a report, the fee for late filing shall not exceed ten dollars for
     3  each day that the report required to be filed is late.
     4    (e) All reports filed pursuant to this subdivision shall be subject to
     5  review  by the commission. Such reports shall be kept in electronic form
     6  by the commission and shall be available for public inspection.
     7    § 1-jj. Prohibition of gifts. No individual or entity required  to  be
     8  listed  on  a  statement  of registration pursuant to this article shall
     9  offer or give a gift to any public official as defined within this arti-
    10  cle, unless under the circumstances it is not reasonable to  infer  that
    11  the  gift  was intended to influence such public official. No individual
    12  or entity required to be listed on a statement of registration  pursuant
    13  to this article shall offer or give a gift to the spouse or unemancipat-
    14  ed  child  of  any  public official as defined within this article under
    15  circumstances where it is reasonable to infer that the gift was intended
    16  to influence such public official. No spouse or unemancipated  child  of
    17  an  individual  required  to  be  listed  on a statement of registration
    18  pursuant to this article shall offer or give a gift to a public official
    19  under circumstances where it is reasonable to infer that  the  gift  was
    20  intended to influence such public official. This section shall not apply
    21  to gifts to officers, members or directors of boards, commissions, coun-
    22  cils,  public  authorities or public benefit corporations who receive no
    23  compensation or are compensated on a per diem basis, unless  the  person
    24  listed  on  the statement of registration appears or has matters pending
    25  before the board, commission or council on which the recipient sits.
    26    § 1-kk. Penalties. (a) (i)  Any  consultant,  public  corporation,  or
    27  client  who  knowingly  and  wilfully  fails  to file timely a report or
    28  statement required by this section or knowingly and wilfully files false
    29  information or knowingly and wilfully violates section  one-jj  of  this
    30  article shall be guilty of a class A misdemeanor; and
    31    (ii)  any  consultant, public corporation, or client who knowingly and
    32  wilfully fails to file timely a report or  statement  required  by  this
    33  section  or  knowingly and wilfully files false information or knowingly
    34  and wilfully violates section  one-jj  of  this  article,  after  having
    35  previously  been  convicted  in  the  preceding  five years of the crime
    36  described in paragraph (i) of this subdivision, shall  be  guilty  of  a
    37  class  E  felony.    Any consultant convicted of or pleading guilty to a
    38  felony under the provisions of this section may be barred from acting as
    39  a consultant for a period of one year from the date of  the  conviction.
    40  For  the  purposes of this subdivision, the chief administrative officer
    41  of any organization required to file a statement or report shall be  the
    42  person responsible for making and filing such statement or report unless
    43  some other person prior to the due date thereof has been duly designated
    44  to make and file such statement or report.
    45    (b)(i)  A  consultant, public corporation, or client who knowingly and
    46  wilfully fails to file a statement or report within  the  time  required
    47  for the filing of such report or knowingly and wilfully violates section
    48  one-jj of this article shall be subject to a civil penalty for each such
    49  failure  or violation, in an amount not to exceed the greater of twenty-
    50  five thousand dollars or three times the amount  the  person  failed  to
    51  report  properly  or unlawfully contributed, expended, gave or received,
    52  to be assessed by the commission.
    53    (ii) A consultant, public corporation, or  client  who  knowingly  and
    54  wilfully  files  a false statement or report shall be subject to a civil
    55  penalty, in an amount not  to  exceed  the  greater  of  fifty  thousand

        A. 6769                            16
     1  dollars  or  five times the amount the person failed to report properly,
     2  to be assessed by the commission.
     3    (iii)  Any  consultant  or client that knowingly and wilfully fails to
     4  file a statement or report within the time required for  the  filing  of
     5  such  report,  knowingly and wilfully files a false statement or report,
     6  or knowingly and wilfully violates section one-jj of this article, after
     7  having been found by the commission to have knowing and wilfully commit-
     8  ted such conduct or violation  in  the  preceding  five  years,  may  be
     9  subject  to  a determination that the consultant or client is prohibited
    10  from engaging in consulting activities, for a period of one year.
    11    (iv) Any consultant or client that knowingly and wilfully  engages  in
    12  consulting  activities,  during  the period in which they are prohibited
    13  from engaging in consulting activities, may be  subject  to  a  determi-
    14  nation  that  the  consultant  or  client is prohibited from engaging in
    15  consulting activities, for a period of up to four years,  and  shall  be
    16  subject  to a civil penalty not to exceed fifty thousand dollars, plus a
    17  civil penalty in an amount equal to five times the value  of  any  gift,
    18  compensation or benefit received as a result of the violation.
    19    (v)  A  consultant,  public  corporation,  or client who knowingly and
    20  wilfully fails to retain their records pursuant to  paragraph  (iii)  of
    21  subdivision (c) of section one-dd of this article or subparagraph (E) of
    22  paragraph  (v)  of  subdivision  (b)  of section one-gg of this article,
    23  shall be subject to a civil penalty in an amount of two thousand dollars
    24  per violation to be assessed by the commission.
    25    (c)(i) Any assessment or order to debar shall be determined only after
    26  a hearing at which the  party  shall  be  entitled  to  appear,  present
    27  evidence and be heard. Any assessment or order to debar pursuant to this
    28  section  may only be imposed after the commission sends by certified and
    29  first-class mail written notice of intent to assess a penalty  or  order
    30  to debar and the basis for the penalty or order to debar. Any assessment
    31  may be recovered in an action brought by the attorney general.
    32    (ii)  In  assessing  any fine or penalty pursuant to this section, the
    33  commission shall consider: (A) as a mitigating factor that the  consult-
    34  ant,  public  corporation  or client has not previously been required to
    35  register, and (B) as an aggravating factor that the  consultant,  public
    36  corporation  or client has had fines or penalties assessed against it in
    37  the past. The amount of  compensation  expended,  incurred  or  received
    38  shall be a factor to consider in determining a proportionate penalty.
    39    (iii)  Any  consultant,  public  corporation  or client who receives a
    40  notice of intent to assess a penalty for knowingly and wilfully  failing
    41  to  file  a  report  or  statement  pursuant  to subdivision (b) of this
    42  section and who has never previously received  a  notice  of  intent  to
    43  assess  a  penalty  for  failing  to file a report or statement required
    44  under this section shall be granted fifteen days within  which  to  file
    45  the  statement  of  registration  or report without being subject to the
    46  fine or penalty set forth in subdivision (b) of this section.  Upon  the
    47  failure  of such consultant, public corporation or client to file within
    48  such fifteen day period, such consultant, public corporation  or  client
    49  shall  be  subject  to  a fine or penalty pursuant to subdivision (b) of
    50  this section.
    51    (d) All moneys recovered by the attorney general or  received  by  the
    52  commission  from  the  assessment  of civil penalties authorized by this
    53  section shall be deposited to the general fund.
    54    § 1-ll. Enforcement. (a) All statements  and  reports  required  under
    55  this  article shall be subject to a declaration by the person making and
    56  filing such statement and report that the information is  true,  correct

        A. 6769                            17
     1  and  complete  to  the best knowledge and belief of the signer under the
     2  penalties of perjury.
     3    (b)  The  commission  shall  be charged with the duty of reviewing all
     4  statements and reports required under this article for  violations,  and
     5  it  shall  be their duty, if they deem such to be wilful, to report such
     6  determination to the attorney general or other appropriate authority.
     7    (c) Upon receipt of notice of such failure from  the  commission,  the
     8  attorney  general  or other appropriate authority shall take such action
     9  as he deems appropriate to secure compliance with the provisions of this
    10  article.
    11    § 1-mm. Record of appearances. The  commission  shall  promulgate  all
    12  rules  or  regulations and any procedures, forms, or instructions neces-
    13  sary to implement the provisions of section one hundred sixty-six of the
    14  executive law relating to the quarterly filing of the record of  appear-
    15  ances before regulatory agencies.
    16    § 1-nn. Publication of statement on consultant disclosure regulations.
    17  The  commission  shall  publish  a  statement  on consulting regulations
    18  setting forth the requirements of this article  in  a  clear  and  brief
    19  manner.  Such statement shall contain an explanation of the registration
    20  and filing requirements and the penalties for violation thereof, togeth-
    21  er with such other information as the commission  shall  determine,  and
    22  copies  thereof  shall  be  made  available  to the public at convenient
    23  locations throughout the state.
    24    § 1-oo. Public access to records. The commission shall  make  informa-
    25  tion  furnished  by  consultants and clients available to the public for
    26  inspection and copying in electronic and paper formats. Access  to  such
    27  information  shall  also  be  made  available  for remote computer users
    28  through the internet network.
    29    § 1-pp. Applicability of certain laws. The provisions of this  article
    30  including,  but  not  limited  to,  any  proceeding or hearing conducted
    31  pursuant hereto, shall be subject to the applicable  provisions  of  the
    32  state  administrative  procedure  act  and  section seventy-three of the
    33  civil rights law.
    34    § 1-qq. Separability clause. If any part or provision of this  article
    35  or  the application thereof to any person or organization is adjudged by
    36  a court of competent jurisdiction to be unconstitutional, such  judgment
    37  shall  not  affect or impair any other part or provision or the applica-
    38  tion thereof to any other person or organization, but shall be  confined
    39  in its operation to the part, provision, person or organization directly
    40  involved  in  the  controversy  in  which  such judgment shall have been
    41  rendered.
    42    § 2. This act shall take effect immediately.
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